Rural Development ARRA Recipient Reporting:

1. Rural DevelopmentARRA Recipient Reporting: States and Circuit Riders/Technical Assistance Providers Only Webinar March 2012

2. Introduction • Speaker • Francis Hayes, Recipient Reporting, Rural Development, USDA • Panelists • Cali Chen, Recipient Reporting, Rural Development, USDA • Tyson Whitney and Fransi Dunagan, Transparency and Accountability Reporting Division, Office of the Chief Financial Officer, USDA • Format for Webinar • 30-45 minutes of presentation • Remaining 45 minutes for questions • Listen only and ask questions via “type in” feature

3. Agenda • Discuss objectives & requirements • Review tentative April reporting cycle schedule • Examine available resources and personnel for reporting • Discuss best practices • Revisit key elements for reporting - - DUNS, CCR, and FRPIN • Discuss lessons learned and common mistakes from past reporting quarters • Summary • Questions & Answers

4. Webinar objectives: Why are we doing this? • Serves as a refresher for ARRA Recipient Reporting requirements • Reporting occurs on a quarterly basis • ARRA reporting is typically one of many responsibilities for the recipient • New reporting staff (both RD staff and recipients) need to understand ARRA Recipient Reporting requirements • Reporting staff changes may have occurred because of new responsibilities, elections, turnover, etc. • Recipients need to determine if they have everything (DUNS, CCR, and FRPIN) in place and renewed in time for the upcoming reporting cycle • There may be new guidance to disseminate from OMB regarding this upcoming reporting cycle • The Office of Management and Budget (OMB) may change the timeframes for reporting • OMB may also send out revised guidance or clarifications related to ARRA reporting requirements

5. Requirements for Recipient Reporting • American Recovery and Reinvestment Act of 2009 (ARRA) • Section 1512 covers Recipient Reporting: “(c) RECIPIENT REPORTS— Not later than 10 days after the end of each calendar quarter, each recipient that received recovery funds from a Federal agency shall submit a report to that agency that contains—…” • Who is required to report under the Recovery Act? • Prime Recipients: Non-Federal entities that receive greater than $25,000 in Recovery Act funding as Federal awards in the form of grants or loans • Sub Recipients (not applicable to Broadband Initiative Program recipients): Non-Federal entities awarded Recovery funding through a legal instrument from the Prime Recipient • What happens to the submitted data? • The submitted data is published to Recovery.gov for public review on the 30th of the month of the Reporting Cycle • The remaining 60 days of the Reporting Cycle are dedicated to data quality improvement • Is it a big deal if you do not report? • Yes, it is a big deal!

6. Consequences for non-compliant recipients • Why do recipients need to report? • Ensure that the American public has a clear understanding of the use of Recovery Act funds • Not reporting could put your award and future federal funding at risk • What is the definition of non-compliant recipient? • Those who are negligent in their reporting obligations for the reporting quarter • Further action is taken if a recipient is non-compliant for a reporting quarter • What happens when you are non-compliant? • Recipients who have failed to submit a Section 1512 report as required by the terms of their award are considered to be non-compliant • Recipients receive a letter from USDA recognizing non-compliance • Listed as non-compliant on the public-facing Recovery.gov website • May be subject to Federal action, up to and including the termination of Federal funding or the ability to receive Federal funds in the future • Per Office of Management and Budget’s (OMB) Memorandum 10-17, sanctions or remedies for repeated non-compliance may include: termination of federal funding, suspension and debarment, or other enforcement action as the Agency determines appropriate

7. Recipient Reporting Schedule and significant milestones • April 1-10*: Initial Submission Period. Recipients need to submit reports via FederalReporting.gov • Please file as early as possible to allow for technical issues or concerns • Agencies will have “View only” access of reports and review Daily Extracts from FederalReporting.gov • Agencies will work with recipients, on a rolling basis, to make any corrections to recipient reports • April 11-14: Extended Submission Period • April 15-17: Prime Recipient review and correction period. (Prime Recipients Review Data Submitted by Sub(s) / Prime Recipients & Subs Make Corrections) • No new reports, just corrections to existing records filed • April 18-29: Agency Review and Comment Period (Agency Review or Data Submitted / Prime Recipients & Subs Make Corrections) • April 30: Data is published on Recovery.gov • May 1- mid June 2012: Continuous Quality Assurance (QA) Period • End of June 2012: Final Continuous QA data published on Recovery.gov It is important to note that for Submission, there is a compressed schedule of only 10 working days for submission (April 1-14) *Note: Dates highlighted in Blue underline indicate major milestones for Recipients. Also, all time frames are based off of OMB Guidance and may change as we get closer to the reporting period

8. Available resources for recipients • There are several resources available for recipients ARRA Recipients FederalReporting.gov Helpdesk USDA Rural Development (RD) Offices Training materials USDA RD Computer Locations USDA Technical Assistance Providers (RCAP and NRWA) USDA Office of the Chief Financial Officer USDA Rural Development Recipient Reporting * Listing of USDA RD computer locations are posted on www.rurdev.usda.gov/recovery.html

9. Available resources for recipients (con’t) • There is a wealth of training materials and resources, such as presentations and webinars, available for recipients • https://www.federalreporting.gov • Live Chat function is helpful to get real-time documented help from customer service representatives • Click on the link from the “Help” tab on FederalReporting.gov. • The response is almost immediate • “Operators” have the ability to solve problems in minutes, rather than waiting several hours or days for something to go through the normal process • For example, one recipient had not obtained their FRPIN despite several emails advising them to do so.  When it got down to “crunch time”, we advised the recipient to use the “Live Chat”, and they had the FRPIN emailed to them almost immediately and they were able to report successfully and on time • Function is much more useful than having the recipients “wading through the websites, help screens, etc.”  • The post-chat email that is sent to the recipient documents the entire conversation, and is important to support their efforts to report.  • Additionally, “Downloads” section has templates, Recipient Reporting Data Dictionary, Webinars, User Guide, Quick Reference Guide, and Reference Data and additional links

10. Available resources for recipients (con’t) • There is a wealth of training materials and resources, such as presentations and webinars, available for recipients • http://www.rurdev.usda.gov/recovery.html • USDA Rural Development Recovery Web site with useful links at the bottom under “Recipient Reporting” section • Includes links to FR.gov, Dun & Bradstreet, CCR, Recovery.gov, RD Computer locations, USDA Recipient Reporting guidelines, 1511 Certifications • http://www.whitehouse.gov/omb/recovery_default/ • Contains Recovery Frequently Asked Questions and links to OMB Memorandums • Including links to the most recent OMB Guidance • Memorandum 10-34 (September 24, 2010) • Memorandum 11-34 (September 15, 2011)

11. Available resources for recipients (con’t) • Use available guides and quick reference cards to get you started (from https://www.federalreporting.gov/federalreporting/downloads.do)

12. Available resources for recipients (con’t) • Use available guides and quick reference cards to get you started (from https://www.federalreporting.gov/federalreporting/downloads.do)

13. Best practices: Reporting • There are several critical elements which are used by Rural Development and by OMB M10-08 in their review of Recipient Reporting • The Major Comparison Points include: • Award ID • Award Type • Award Amount $ • Award Date (date of obligation per RD) • Awarding/Funding Agency code • DUNS number • Catalogue of Federal Domestic Assistance (CFDA) Number • Program Treasury Accounting Symbol (TAS) Code • Order Number (Contracts only) • The descriptive narrative fields should also become a focus for recipients • OMB Memorandum 10-34 emphasizes that recipients should ensure that narrative field descriptions are clear

14. Best practices: Narrative descriptions • The Narrative Description fields in FR.gov should provide sufficient clarity and detail to facilitate understanding by the general public. These narrative fields include: • Award Description • Quarterly Activities/Project Description for Prime and Sub-Recipients • Description of Job Created (If Jobs Created > 0 ) • Infrastructure Purpose and Rationale (if applicable) • OMB Guidance is available here: http://www.whitehouse.gov/sites/default/files/omb/memoranda/2010/m10-34.pdf

15. Best practices: Narrative descriptions (con’t) • Use clear and concise narrative descriptions, explaining all abbreviations/acronyms which may be unfamiliar to the general public; and, use of complete sentences: • Example: Rural Development grant funds will be used to purchase furnishings and equipment for the XXX County Emergency Medical Services (EMS) facility when renovations are completed. • Example: XXX Water Project. This is construction of a new municipal water well, approximately 400 feet deep with a 14" casing. It includes installation of a pump, controls, emergency generator, well house building and approximately 1,400 feet of pipeline for connection to existing City water lines. Project is over 50% complete and is also funded with other funding, as well as our ARRA grant award ID XX-XX. • Entries in the “Award Description” and “Quarterly Activities/Project Description for Prime and Sub-recipients” fields must provide, at a minimum, clear and complete information on the award’s purpose, scope and nature of activities, outcomes, and status of activities • Ensure narratives are clear enough for the layman/general public to understand how funds are being used • All narrative description and award data reported in FR.gov is sent to Recovery.gov for review by the general public • Need to demonstrate that we are being good stewards of taxpayer monies by being transparent about how the monies are being used in our communities

16. Best practices: Jobs calculation • Report the total number of Jobs created/retained using ARRA funds only • The jobs number in the ARRA report is a snapshot of those jobs created/retained for the reporting quarter only (January 1 – March 31, 2012) and should reflect jobs created/retained as result of that specific ARRA award • Even if prior reported job numbers may have been incorrectly reported, only report those jobs created/retained for the reporting period only • Per OMB M-10-34, there is not a requirement to correct job numbers in prior reporting periods • Therefore, it is important that the job count is accurate for the reporting quarter • Report Jobs created/retained for the reporting quarter even if there have not been any ARRA disbursements • Note an explanation in the Project Description to indicate that the work is going forward and funds to be disbursed at end of the project (if applicable) • This would explain to the public the reason that they had jobs created even though no funds were invoiced or disbursed/expended • If needed, create further explanation about the job activities in the accompanying narrative field • Do not duplicate job numbers for loan & grant combination awards • Ensure the jobs number is reflective of sub-recipient and vendors, if applicable • Include hours worked by sub-recipients and vendors, if applicable, if the hours were funded by the specific ARRA award • If needed, create further explanation about the job activities in the accompanying narrative field • Utilize available resources to create accurate job estimates • Reference OMB-10-08 “Updated Guidance on the American Recovery and Reinvestment Act – Data Quality, Non-Reporting Recipients, and Reporting of Job Estimates” (December 18, 2009) (24 pages, 188 kb) • Utilize the Rural Development-created Job Calculations tool (http://www.rurdev.usda.gov/arra/reporting.html)

17. Best practices: Loan/Grant Combinations • Concern: Loan award portion of project award has been fully expended, but Grant award portion is still active and may have no funds invoiced or expended • Recipient is unsure how to report project status for both awards and does not want the continued burden to report on the loan award • Best practice: Report Loan award portion as final report and Grant award portion according to overall project status • Loan award portion should be reported as final report, with reference in the narrative of the associated Grant award ID for the project • Grant award portion should indicate the full project status, regardless of ARRA funds expensed, etc. • Indicate in the remaining Grant award narrative description (quarterly activities narrative) the activities performed in the quarter by the prime and sub recipients, referencing other ARRA award IDs which are part of the particular project. If applicable, mention other funding • Ensure report reflects project status on award for entire project, regardless of ARRA funds expended on award • The Office of the Chief Financial Officer for USDA (OCFO) has told us that recipients should use the narrative spaces to explain any reporting that may show a flag to OMB, but which can be fully explained. • Prose tool may continue to show a “flag” in the Status column, which the State can ignore after performing the due diligence review • The key is to maintain transparency on the entire project, referring to the award as a part of the overall project • The recipient should feel free to rely on the narrative areas (when there are status flags, use the quarterly description of activities area) to explain any potential areas where OMB or the public may cause question.

18. Best practices: Loan/Grant Combos (Cont’d) • Concern: Prose tool flags award for “Status” and Agency user has verified that report is correct • Status flags are based on a formula looking at award value, funds expended, and project status reported; flags when something falls out of the suggested OMB guideline • Best practice: Ensure report reflects project status on award for entire project, regardless of ARRA funds expended on award • If Loan award portion is final report, project status should be “Fully complete” with reference in the narrative of the associated Grant award ID for the project • Grant award portion should indicate the full project status, regardless of ARRA funds expensed, etc. • Indicate in the remaining Grant award narrative description (quarterly activities narrative) the activities performed in the quarter by the prime and sub recipients, referencing other ARRA award IDs which are part of the particular project. If applicable, mention other funding • The Office of the Chief Financial Officer for USDA (OCFO) has told us that recipients should use the narrative spaces to explain any reporting that may show a flag to OMB, but which can be fully explained • Prose tool may continue to show a “flag” in the Status column, which the State may ignore after performing the due diligence review of the report • The key is to maintain transparency on the entire project, referring to the award as a part of the overall project • The recipient should feel free to rely on the narrative areas (when there are status flags, use the quarterly description of activities area) to explain any potential areas where OMB or the public may cause question.

19. Getting started: Recipients A little bit of planning goes a long way with Recipient reporting requirements • Verifying and validating DUNS number on record associated with award • Reviewing and validating Central Contractor Registry (CCR) registration • Obtaining FRPIN (from FederalReporting.gov) • Understanding functions of FederalReporting.gov functions which may make reporting easier • “Copy forward” function 1 2 3 4

20. Getting started: Recipients (con’t) 1 • Verifying and validating Dun & Bradstreet Numbering System (DUNS) number on record associated with award • It is the recipient’s responsibility to ensure that that their DUNS number and entity record is accurate and active with Dun and Bradstreet (D&B). • While DUNS numbers don’t expire, D&B does conduct routine and continuous data maintenance and outreach to verify operations at a location. When operations cannot be verified for a particular DUNS number, D&B may flag the number “inactive,” which could interfere with successful reporting. It is also important that the entity information is accurate when reporting on government websites. • The DUNS record the recipient plans on reporting in FederalReporting.gov should be compared against that on record with the Rural Development point of contact • In order to request a DUNS number or to lookup, review, or modify a record at D&B, recipients may use the following two free resources: • The self-service web form at http://fedgov.dnb.com/webform allows a recipient to lookup their DUNS number, review the data on file, request changes if necessary, or request a new DUNS number, if needed.  • Recipients may call (866) 705-5711 to verify that a DUNS number is active and confirm other details about their entity

21. Getting started: Recipients (con’t) 2 • For recipients with existing CCR registrations, ensure your CCR information is up-to-date and will be active throughout the reporting cycle • Recipients may use the Search function on the CCR website: https://www.bpn.gov/CCRSearch/Search.aspx to verify status • CCR registration must be renewed at least every 12 months and an expired registration will prevent report submission &/or modification by the recipient • Maintaining current Points of Contact in the CCR record will assure recipients that renewal reminders are received and that FRPINs are approved in FR.gov • Reviewing and validating Central Contractor Registry (CCR) registration (https://www.bpn.gov/ccr/default.aspx) • For recipients requiring CCR registration, register with CCR and obtain a DUNS number in order to register • Re-instating an expired registration requires specific recipient actions to protect the security of the record, processing time, and additional time to update FederalReporting.gov • Recipient instructions may be found at Chapter 2 of the User Guide at the downloads page of FederalReporting.gov

22. Getting started: Recipients (con’t) 3 • A FRPIN is required for successful FR.gov submission • FRPINs are unique to the users’ DUNS and CCR combinations • There may be multiple FRPINs assigned to a single CCR/DUNS combination • Typically, the CCR point of contact is automatically assigned an FRPIN and also serves as the organization’s DUNS administrator, unless the administrator delegates it to someone else • FRPIN issuance can occur at any time, however, the FR.gov organization POC must approve issuance of FRPINs • Once approval occurs by your organization’s POC, FR.gov issues the FRPIN automatically • If you have not received approval within 24 hours by FR.gov, contact your organization’s POC to ensure they have approved your request • Obtaining Federal Reporting.gov PIN (FRPIN) from FederalReporting.gov From FederalReporting.gov User Guide: Chapter 3 – FederalReportingPIN - FRPIN

23. Getting started: Recipients (con’t) 4 • Understanding functions of FederalReporting.gov functions which may make reporting easier • “Copy forward” function • Returning Recipient reporters should utilize this function within FederalReporting.gov report submission process • “Links” current and previous quarter’s reports (Q3 2011) and allows the public to follow the progress of projects over time (via data sent from FR.gov to Recovery.gov) • When using this function, the responsibility resides with the recipient to make updates to the draft report created for the current reporting cycle • The recipient must review all data fields to ensure all data is complete and correct (all financial fields are cumulative to date; number of jobs created/retained is a quarterly snapshot, narratives may need to be updated) • A full discussion of this process is available in Chapter 10 of the User Guide at FederalReporting.gov

24. Lessons Learned from 4th Quarter 2011 • Rural Development had a very successful reporting quarter in Q4 2011 (99% compliance) • Out of a total of 2293 awards, there were just 23 awards considered non-compliant • Validate DUNS, CCR registration, and FRPIN early, well before April reporting cycle • Verify DUNS is active • Validate CCR information is up-to-date (POC info) and registration is active (not expired or pending expiration during reporting period) and linked to DUNS • Ensure that the recipient POC performing the reporting has a FRPIN, which has been issued by FederalReporting.gov • Start the process early to avoid potential technical glitches or errors in reports • It may take between 48-72 hours within each system (DUNS, CCR or FederalReporting.gov) to update records • This takes away valuable reporting time during the Initial Submission Period (typically only 10 calendar days!) • Preparation and communication are key to successful reporting • Understand whether or not recipients are running into any obstacles related to reporting • Understand additional staff which recipients may have available to help them (for WEP: RCAP and NRWA are available) 1 2 3

25. Common mistakes in reporting • New reports for the reporting quarter can only be submitted during the Submission period (April 1-14) • Recipients will not be able to submit new reports after the Submission period passes and they will be considered non-compliant reporters • Only edits and revisions to existing reports will be allowed after Submission period • Report Grants and Loans separately within FederalReporting.gov • Combination Loan and Grant projects must report for the Grant and for the Loan separately (i.e., 2 reports) • Do not report duplicate job numbers for a loan and grant combo • Obtain correct award ID information for your award(s) • Pay attention to the reported Award ID, especially dashes, spaces, numbers, etc. • Recipients should refer to their USDA Rural Development staff point of contact for the correct information for your award(s)

26. Common mistakes in reporting (con’t) • Ensure recipients receive a confirmation for each reported award from FR.gov • Draft reports do not count towards submission; ensure report is “Submitted” • FederalReporting.gov will generate an email to the recipient indicating any errors to the report and will indicate that these errors need to be corrected before the report is considered “Submitted” • For example, if the recipient is submitting 3 reports, they should have 3 submission confirmations from FR.gov • Save and print out ARRA report submission confirmation from FR.gov for each award(s) and send it to your Rural Development POC for their records • Work with RD staff to obtain the Date of Award and TAS Code for your USDA Rural Development award • Recipients should refer to their USDA Rural Development staff point of contact for the correct information for their award(s) • Ensure recipients make themselves available during the reporting period • Recipients may need to turn around changes to their report or clear up errors on reports during Initial Submission before the reports are considered submitted • Provide valid contact numbers and email addresses to Rural Development POCs

27. Summary • Submission begins on April 1st and goes through April 14th • New reports will be accepted by FederalReporting.gov until 11:59 PM EST on April 14th • Begin the processes now to validate, verify, and register (if necessary) each of the following: • DUNS, CCR Registration, FRPIN (from FederalReporting.gov) • All these data elements (DUNS, CCR, and FRPIN) are linked to each other and errors in one system will cause errors or non-submission in the other systems • Pre-fill out reporting templates with award ID and other relevant Recipient Reporting award data for submission on April 1stor early in the Initial Submission to ease the submission process and account for any technical glitches • Reach out to your Rural Development points of contact as soon as they encounter any obstacles • For Water and Environmental Programs recipients, also utilize the ARRA Technical Assistance Providers and Circuit Riders and to help with reporting

28. Rural Development points of contact for ARRA Recipients • 1st level: • Rural Development point of contact in your local RD office • For Broadband recipients, utilize your assigned Rural Development General Field Representatives (GFRs) in the RD office • 2nd level: • Recipient Reporting Team, USDA Rural Development • Broadband Initiatives Program (BIP) POC: Joseph Sorresso, Broadband Industry Economist, Rural Development, Joseph.Sorresso@wdc.usda.gov

29. Questions and Answers